Skip to content
Federal Criminal Trialtrial-daytrial-dayJohn C. BosticRobert S. LeachKevin M. DowneyLance A. WadeChristopher LucasLynette SawyerdirectcrossredirectrecrossDay 28 - November 4, 2021Christopher Lucas described Black Diamond Ventures' $5.35 million Theranos investment, its limited diligence, and his reliance on information from Holmes and commercial-partner signals. Lynette Sawyer testified that she lacked access and information while serving as laboratory co-director, while the defense emphasized the temporary, limited terms of her assignment.
← Day 27Federal Criminal TrialDay 29 →

Day 28 - November 4, 2021

Lucas Details Theranos Investment; Sawyer Describes Limited Laboratory Oversight

Judge Edward J. Davila
7Proceedings
2Pages
2Witnesses
2,434Lines
Day 28 of 51
Appearing:

Christopher Lucas described Black Diamond Ventures' $5.35 million Theranos investment, its limited diligence, and his reliance on information from Holmes and commercial-partner signals. Lynette Sawyer testified that she lacked access and information while serving as laboratory co-director, while the defense emphasized the temporary, limited terms of her assignment.

Full day summary

Christopher Lucas testified that Black Diamond Ventures invested approximately $5.35 million in Theranos in December 2013 after a compressed review. He described limited access to customary financial and laboratory information, identified Holmes as his primary source for answers supplied to investors, and said commercial relationships and rollout announcements contributed to his view that the investment was less risky than in 2006. Cross-examination reviewed early investor materials, disclosed business risks, Black Diamond's own financial modeling, Walgreens-related signals, and the firm's compensation and monitoring duties. On redirect, Lucas said he lacked independent financial information and assumed Holmes's answers were truthful and accurate. Lynette Sawyer testified that, although she served as a part-time co-director of Theranos's California clinical laboratory, she never entered the laboratory, saw a Theranos-manufactured analyzer, received quality-control data, or communicated with laboratory supervisors. She said the materials she reviewed concerned ordinary FDA-approved assays and that she had not known about twelve assays described in an exhibit as having been run on Theranos devices. Sawyer attributed her resignation to insufficient laboratory and personnel information and an inability to address SOP concerns. On cross-examination, she acknowledged that the consulting arrangement was intended to be temporary and limited, did not require on-site work, and that she never requested a site visit. After testimony ended, the parties disputed proposed use of the CMS inspection report and testimony about voided Edison-device tests. The court made no admissibility ruling and directed the prosecution to submit its proposed evidentiary path in writing for later argument.

1. Christopher Lucas — Direct/Cross/Redirect/Recross

Christopher Lucas testified about Black Diamond Ventures' Theranos investments and the information, risks, and commercial signals he considered before the firm's December 2013 investment. His testimony concluded after cross-examination, redirect, and recross, and Lynette Sawyer was sworn next.

Procedural
Morning Session Opening and Christopher Lucas Swearing

The court completed a juror recess inquiry, deferred a defense item until a break, and swore government witness Christopher Lucas.

Direct
Christopher LucasJohn C. Bostic
627 lines

Christopher Lucas testified that BDV invested approximately $5.35 million in Theranos after relying heavily on Holmes, shareholder communications, public coverage, and claims about Theranos's technology. He acknowledged unusually limited transparency but said his relationship with Holmes and Theranos's partnerships increased his confidence.

Cross
Christopher LucasKevin M. Downey
951 lines

Christopher Lucas acknowledged limited recollection and incomplete diligence surrounding Black Diamond's early Theranos investments while describing disclosed business risks, his reliance on management and his uncle, and the importance he assigned to Walgreens and the 2013 financing structure.

colloquy
Exhibit 12323 Admissibility Colloquy

The court admitted two highlighted portions of Exhibit 12323 solely for their possible effect on Christopher Lucas's conduct, not for the truth of the statements.

Cross
Christopher LucasKevin M. Downey
169 lines

Christopher Lucas said Safeway and Walgreens developments influenced his Theranos investment analysis, acknowledged Black Diamond Ventures' management fees and potential profit participation, and qualified his recollection of exact assay counts and compensation terms.

Redirect
Christopher LucasJohn C. Bostic
106 lines

Christopher Lucas clarified that his 2013 investment relied on company-supplied information, Holmes's statements, and commercial-rollout signals despite his lack of independent financial information or knowledge of Theranos's cash position.

Recross
Christopher LucasKevin M. Downey
37 lines

Christopher Lucas remembered reading an article reporting medical review of Theranos-supplied validation studies but did not recall the specific passage highlighted on recross. He was then excused, and Lynette Sawyer was called and sworn.

Highlights

2. Lynette Sawyer — Direct/Cross

Lynette Sawyer testified about her limited laboratory oversight, faced initial cross-examination, and was followed by an unresolved evidentiary colloquy concerning a CMS report and voided Edison-device tests.

Direct
Lynette SawyerRobert S. Leach
237 lines

Lynette Sawyer said that although she was a Theranos laboratory co-director, she never entered the lab or received information about proprietary-device testing and resigned after failing to obtain sufficient laboratory and personnel information.

Cross
Lynette SawyerLance A. Wade
170 lines

Lynette Sawyer agreed that her Theranos co-director assignment was intended to be temporary, limited, and off-site, while qualifying counsel's broader characterization of her other laboratory-director work. The court admitted the consulting agreement governing her services and scheduled cross-examination to continue.

colloquy
CMS Report and Voided-Test Evidence Colloquy

The parties disputed the admissibility and scope of the CMS report and Kingshuk Das's anticipated voided-test testimony. The court ordered a written prosecution proffer by midday Monday and scheduled argument for Tuesday morning without deciding admissibility.

Highlights

Lynette Sawyer — Directtestimony highlightSawyer said she was never invited into the laboratory, never saw a Theranos-manufactured analyzer, and never reviewed data she understood to have been produced by one. The SOPs she received concerned ordinary FDA-approved assays.Lynette Sawyer — Directevidence eventExhibit 4533 displayed twelve assays described as having been run on Theranos Sample Processing Units. Sawyer testified that she did not know Theranos had used its device for those assays and was not consulted about the listed testing stoppages.Lynette Sawyer — Directtestimony highlightSawyer said she resigned after failing to obtain personnel information or sufficient clarity about the laboratory and lacking a person with whom she could address SOP concerns. She recalled Balwani encouraging her to stay and being somewhat pushy.Lynette Sawyer — Direct“I ELECTED TO RESIGN BECAUSE I WAS VERY UNCOMFORTABLE WITH THE LACK OF CLARITY THAT I WAS GETTING ABOUT THE LAB, ABOUT PERSONNEL, THE INABILITY TO GET THAT -- IT'S ACTUALLY A FORM THAT LISTS EVERYBODY AND THEIR POSITIONS, AND THE FACT THAT I COULDN'T REALLY TALK -- DIDN'T HAVE A PERSON THAT I COULD ACTUALLY TALK TO ABOUT ISSUES THAT I HAD WITH SOME OF THE SOP'S.”— Lynette SawyerSawyer directly connected her resignation to missing laboratory and personnel information and her inability to address concerns about SOPs.Lynette Sawyer — Crosstestimony highlightUsing the admitted agreement, the defense established that Sawyer understood her Theranos co-director assignment to be temporary, limited, potentially about five hours per week, and not requiring on-site work; Sawyer also said she never asked to visit the site.CMS Report and Voided-Test Evidence Colloquyprocedural actionThe court directed the prosecution to submit its proposed evidentiary path in writing by midday Monday and scheduled discussion for Tuesday at 8:00 a.m.; it did not decide admissibility.
← Day 27Federal Criminal TrialDay 29 →